ASHRAE Guideline 4-2008 (RA 2013)

(Reaffirmation of ASHRAE Guideline 4-2008)

Preparation of Operating
and Maintenance
Documentation for
Building Systems

Approved by the ASHRAE Standards Committee on June 21, 2008, and reaffirmed January 26, 2013; and by the ASHRAE
Board of Directors on June 25, 2008, and reaffirmed January 29, 2013.

ASHRAE Guidelines are scheduled to be updated on a five-year cycle; the date following the guideline number is the year of
ASHRAE Board of Directors approval. The latest edition of an ASHRAE Guideline may be purchased on the ASHRAE website
(www.ashrae.org) or from ASHRAE Customer Service, 1791 Tullie Circle, NE, Atlanta, GA 30329-2305. E-mail:
orders@ashrae.org. Fax: 404-321-5478. Telephone: 404-636-8400 (worldwide) or toll free 1-800-527-4723 (for orders in US and
Canada). For reprint permission, go to www.ashrae.org/permissions.

2013 ASHRAE ISSN 1049-894X

 ASHRAE (www.ashrae.org). For personal use only. Additional reproduction, distribution, or
transmission in either print or digital form is not permitted without ASHRAE's prior written permission.

ASHRAE Guideline Project Committee 4

Cognizant TC: TC 7.3, Operation and Maintenance Management
SPLS Liaison: Steven T. Bushby

Brian A. ODonnell, Chair * Michael J. King * Kathleen M. Radke

William Aubern Claud E. Kissmann Jeffrey P. Rutt *
Charles E. Dorgan * Carl N. Lawson Scott B. Sepsy *
Walter T. Grondzik * William J. McCartney * Michael Henry Smith
John J. Harmon Robert McDowall Frantisek Vaculik
Gerald J. Kettler * Frido H. E. Profoehr John D. Warfield *

* Denotes members of voting status when the document was approved for publication

ASHRAE STANDARDS COMMITTEE 20122013

Kenneth W. Cooper, Chair Julie M. Ferguson Janice C. Peterson
William F. Walter, Vice-Chair Krishnan Gowri Heather L. Platt
Douglass S. Abramson Cecily M. Grzywacz Ira G. Poston
Karim Amrane Richard L. Hall Douglas T. Reindl
Charles S. Barnaby Rita M. Harrold James R. Tauby
Hoy R. Bohanon, Jr. Adam W. Hinge James K. Vallort
Steven F. Bruning Debra H. Kennoy Craig P. Wray
David R. Conover Jay A. Kohler Charles H. Culp, III, BOD ExO
Steven J. Emmerich Rick A. Larson Constantinos A. Balaras, CO
Mark P. Modera

Stephanie C. Reiniche, Manager of Standards

SPECIAL NOTE
This Guideline was developed under the auspices of ASHRAE. ASHRAE Guidelines are developed under a review process, identifying
a guideline for the design, testing, application, or evaluation of a specific product, concept, or practice. As a guideline it is not definitive but
encompasses areas where there may be a variety of approaches, none of which must be precisely correct. ASHRAE Guidelines are written
to assist professionals in the area of concern and expertise of ASHRAEs Technical Committees and Task Groups.
ASHRAE Guidelines are prepared by project committees appointed specifically for the purpose of writing Guidelines. The project
committee chair and vice-chair must be members of ASHRAE; while other committee members may or may not be ASHRAE members, all
must be technically qualified in the subject area of the Guideline.
Development of ASHRAE Guidelines follows procedures similar to those for ASHRAE Standards except that (a) committee balance is
desired but not required, (b) an effort is made to achieve consensus but consensus is not required, (c) Guidelines are not appealable, and
(d) Guidelines are not submitted to ANSI for approval.
The Manager of Standards of ASHRAE should be contacted for:
a. interpretation of the contents of this Guideline,
b. participation in the next review of the Guideline,
c. offering constructive criticism for improving the Guideline, or
d. permission to reprint portions of the Guideline.

DISCLAIMER
ASHRAE uses its best efforts to promulgate Standards and Guidelines for the benefit of the public in light of available information and
accepted industry practices. However, ASHRAE does not guarantee, certify, or assure the safety or performance of any products, components,
or systems tested, installed, or operated in accordance with ASHRAEs Standards or Guidelines or that any tests conducted under its
Standards or Guidelines will be nonhazardous or free from risk.

ASHRAE INDUSTRIAL ADVERTISING POLICY ON STANDARDS

ASHRAE Standards and Guidelines are established to assist industry and the public by offering a uniform method of testing for rating
purposes, by suggesting safe practices in designing and installing equipment, by providing proper definitions of this equipment, and by providing
other information that may serve to guide the industry. The creation of ASHRAE Standards and Guidelines is determined by the need for them,
and conformance to them is completely voluntary.
In referring to this Standard or Guideline and in marking of equipment and in advertising, no claim shall be made, either stated or implied,
that the product has been approved by ASHRAE.
 ASHRAE (www.ashrae.org). For personal use only. Additional reproduction, distribution, or
transmission in either print or digital form is not permitted without ASHRAE's prior written permission.

CONTENTS

ASHRAE Guideline 4-2008 (RA 2013),

Preparation of Operating and Maintenance Documentation for Building Systems
SECTION PAGE
Foreword ................................................................................................................................................................... 2
1 Purpose .......................................................................................................................................................... 2
2 Scope ............................................................................................................................................................. 2
3 Definitions....................................................................................................................................................... 2
4 Implementation ............................................................................................................................................... 3
5 O&M Documentation Library .......................................................................................................................... 5
6 References ..................................................................................................................................................... 7
Informative Appendix AConstruction Documents ........................................................................................... 8
Informative Appendix BOperations Manual .................................................................................................... 8
Informative Appendix CEmergency Procedures Information ........................................................................ 12
Informative Appendix DMaintenance Manual ............................................................................................... 13
Informative Appendix ETest Reports ............................................................................................................ 17

NOTE

Approved addenda, errata, or interpretations for this guideline can be downloaded free of charge from the ASHRAE
Web site at www.ashrae.org/technology.

2013 ASHRAE
1791 Tullie Circle NE Atlanta, GA 30329 www.ashrae.org All rights reserved.
ASHRAE is a registered trademark of the American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.
 ASHRAE (www.ashrae.org). For personal use only. Additional reproduction, distribution, or
transmission in either print or digital form is not permitted without ASHRAE's prior written permission.
(This foreword is not a part of this guideline. It is merely
informative and does not contain requirements necessary
for conformance to the guideline. It has not been
processed according to the ANSI requirements for a
guideline and may contain material that has not been
subject to public review or a consensus process.)
FOREWORD
This is a reaffirmation of ASHRAE Guideline 4-2008.
This guideline was prepared under the auspices of ASHRAE.
It may be used, in whole or in part, by an association or gov-
ernment agency with due credit to ASHRAE. Adherence is
strictly on a voluntary basis and merely in the interests of
obtaining uniform guidelines throughout the industry.
The changes made for the 2013 reaffirmation were:
References were updated
Minor editorial changes were made
Added "Informative" to the references to the appendices
1. PURPOSE
To guide those responsible for the design, construction,
and commissioning of building HVAC&R systems in the prep-
aration and delivery of operating and maintenance (O&M)
documentation that
a. is simple to prepare and update,
b. is delivered on time,
c. is easy to use, and
d. provides accurate and relevant information.
2. SCOPE
This guideline covers the format, content, delivery, and
updating of building HVAC&R systems O&M documentation
that is normally provided by the design and construction team
members.
3. DEFINITIONS
Many of the terms used in this guideline and recom-
mended for use in the O&M documents are defined in
ASHRAE Terminology of Heating, Ventilating, Air Condi-
tioning & Refrigeration.1 Others are defined in ASHRAE
Guideline 0, The Commissioning Process,2 and
ASHRAE Guideline 1.1, HVAC&R Technical Require-
ments for The Commissioning Process.3 Additional terms
are defined below:
Basis of Design: a document that records the concepts, calcula-
tions, decisions, and product selections used to meet the Owners
Project Requirements and to satisfy the applicable regulatory
requirements, standards, and guidelines. The document includes
both narrative descriptions and lists of individual items that
support the design process.
building project: a task with the objective of delivering a base
building or a building shell that must be fitted-out before it is suit-
able for occupancy.
2 ASHRAE Guideline 4-2008 (RA 2013)
commissioning authority: an entity identified by the owner who
leads, plans, schedules, and coordinates the commissioning team
to implement the commissioning process.
design authority: a prime consultant, usually an architect,
responsible for the quality of the design that is proposed to meet
the owner's requirements.
design intent: see Basis of Design. Both terms are
commonly used.
designer: a member of the project team involved in providing
design solutions to meet the owners requirements and in prepar-
ing construction and O&M documents during the conceptual
design, the completion of construction documents (the design),
the construction, and the operational stages of the project delivery.
electronic documentation: as used in this guideline, a compila-
tion of electronic files relevant to all components and systems of
a project. The documentation adheres to the content requirements
described by this guideline and has an overall structure and search
capabilities that allow navigation, access, and search of all files
contained through networked, stand-alone, and/or portable
devices.
fit-out project: a project through which furnishings, including
partitions, furniture, and tenant equipment (e.g., copy machines,
fax machines, personal computers) are delivered.
O&M designer: a designer specializing in the O&M aspects of a
project.
O&M documentation: a comprehensive set of documents
providing information pertaining to a specific facility, including
information regarding the design, operation, and maintenance of
the facility.
owner: the person or legal entity that will own the delivered facil-
ity or an agent representing the owner. The owner defines the proj-
ect requirements.
Owners Project Requirements: a written document that details
the functional requirements of a project and the expectations of
how it will be used and operated. This includes project goals,
measurable performance criteria, cost considerations, bench-
marks, success criteria, and supporting information. The term
Project Intent is used by some owners for their commissioning
process instead of Owner's Project Requirements.
Preliminary Operating Manual: an elaboration of the design
intent that includes operating information developed during the
construction documents (design) stage.
project brief: see Owners Project Requirements. Both terms are
commonly used.
project delivery stages: the progressive stages in the development
of a project marking the delivery of a distinct product: planning,
conceptual design, construction document preparation, construc-
tion, operation, and evaluation.
systems manual: a system-focused composite document that
includes the operations manual, the maintenance manual, and
additional information of use to the owner during the occupancy
and operations phases.
 ASHRAE (www.ashrae.org). For personal use only. Additional reproduction, distribution, or
transmission in either print or digital form is not permitted without ASHRAE's prior written permission.
4. IMPLEMENTATION
4.1 Use of the Guideline. Participants in the planning,
design, construction, commissioning, operation, and mainte-
nance activities should use this guideline to complete the fol-
lowing tasks:
a. The owner and the planning team
specify the scope and process of development,
delivery, and upkeep of the O&M documentation.
b. The design team
prepares its portion of the O&M documentation,
specifies O&M documentation requirements for
equipment suppliers and system installers,
reviews O&M information prepared by others
and assembles it into an O&M documentation
package, and
delivers the O&M documentation package to the
owner.
c. The equipment suppliers
prepare and submit their O&M information to the
installers.
d. The installers
prepare their portion of the O&M documentation and
collect and assemble O&M documentation from
the equipment suppliers and submit it to the
designer.
e. The commissioning authorities
verify the correctness and relevancy of the O&M
documentation and
guide the delivery of commissioning reports in a
record document and as-commissioned form.
f. The building management, operating, and maintenance
personnel
maintain and use the O&M documentation and
revise outdated O&M documentation for existing
buildings.
All of the above participants contribute to the O&M docu-
mentation to various degrees. Organizing the preparation and
delivery of O&M documentation should be the responsibility
of the designer. The designer should have continuing involve-
ment in the design, construction, commissioning, and, where
possible, ongoing involvement in the operation and mainte-
nance of the building.
4.2 Uses of O&M Documentation. O&M documenta-
tion, prepared in accordance with this guideline, can be used
for the following commissioning-related and O&M-related
activities:
a. training of building management, operating, and mainte-
nance personnel
b. preparation and modification of operating program ele-
ments, including schedules and strategies for ventila-
tion, energy management, etc.
c. preparation and modification of any type of mainte-
nance program, whether predictive, preventive, break-
down, or any combination of these types
d. preparation of the O&M budget, including utility
budgets
ASHRAE Guideline 4-2008 (RA 2013)
e. assessment of compliance with the O&M program
requirements and annual O&M budgets
f. preparation of asset management reports and plans
g. preparation of energy audits
h. management of energy or building retrofit projects
4.3 O&M Manual Media. Building owners should spec-
ify in the Owners Project Requirements that the O&M doc-
umentation be provided in electronic format, as well as
printed and organized in binders. Contractor documenta-
tion requirements for the O&M manual shall be clearly
stated in the construction documents.
The primary advantage of electronic documentation is
reduced costs and increased versatility of viewing the data
by the owner. An electronic O&M manual could be repre-
sented as a static electronic or web-type document that has
hyperlinks to O&M manual components such as equipment
lists, drawings, bills of material items, and individual prod-
uct references. These hyperlinks could be a collection of
individual files that are maintained under version and revi-
sion control.
An electronic O&M manual could be shared among
several users if it is posted on an internal (or external) web
page. Electronic document access enables the owner to
quickly reference a building system or equipment to deter-
mine information such as O&M procedures or replacement
components. Electronic document features include search
routines that make it easy to find information in the docu-
ment, access help systems, and perform product searches.
Electronic documentation makes it easier for the owner
or contractor to update the document as aspects of the build-
ing change over its life. A centrally maintained electronic
document updated with version control is a more reliable
source for current information than a printed manual, which
requires the updating and replacing of individual pages in
multiple copies.
4.4 Process of O&M Manual Development and Deliv-
ery. To support the above uses effectively, the O&M infor-
mation should be developed and made available to the
owner on a timely basis so that the owner is able to assist
in such processes as building construction, system com-
missioning, training, and building operation. Table 1 sug-
gests a process of development, delivery, and use of O&M
documentation related to the usual stages of delivery of a
building project.
The process outlined in Table 1 applies to new building
projects, building renovation projects, and retrofit projects.
Since fit-out projects are usually delivered in a different
time interval than the base building project, the process of
development and delivery of O&M documentation for
fit-out projects should utilize the format of O&M documen-
tation for the building that already exists. For more infor-
mation, see Section 4.5.
4.5 Revisions to and Upkeep of O&M Documentation.
O&M documentation needs to be complete before occu-
pancy and operation and should be under revision control
throughout the service life of the building. Otherwise, it
loses its value, and building occupancy and operational
3